July 2017

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Real-Time Risk: Why we all need to study Big Data

Everything changes. Financial Services. Markets. Risk. Technology and innovation transform an entire industry and if you want to survive, you need to change, too. In order to change though, a profound understanding of the new technologies is necessary. PlanetCompliance spoke to Irene Aldridge, the author of the bestseller “Real-Time Risk” about what investors and finance …

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EBA publishes Final Guidelines on major incident reporting under PSD2

The European Banking Authority (EBA) published today the Final Guidelines on major incident reporting under the revised Payment Services Directive (PSD2). The Guidelines were developed in close cooperation with the European Central Bank (ECB), are addressed to all payment services providers and competent authorities in the 28 EU Member States, and contribute to the objective …

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The opening bell for the regulatory clampdown on ICOs?

The U.S. Securities and Exchange Commission (SEC) yesterday published two documents that may well have a significant impact on the future of Initial Coin Offerings (ICO). By some it is already seen as starting shot for a massive clampdown on an instrument that in recent weeks and months has gained astonishing popularity. While this is …

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SEC report concludes DAO Tokens were Securities

The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws. Such offers and sales, conducted by organizations using distributed ledger or blockchain technology, have been referred to, among other things, as “Initial …

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FCA consults on information about current account services

The FCA today published its Consultation Paper CP17/24 on proposals to require current account providers to publish information on service and performance. This consultation proposes new rules that will require firms offering personal current accounts (PCA) and business current accounts (BCA) to publish information about: how long it takes to open an account and have …

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US regulator publishes guidance for ICO investors

The U.S. Securities and Exchange Commission today published an investor bulletin on Initial Coin Offerings. The bulletin can be found below and on the investor homepage of the SEC here together with related information. Developers, businesses, and individuals increasingly are using initial coin offerings, also called ICOs or token sales, to raise capital.  These activities may …

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Commission consults on transparency and fees in cross-border transactions in the EU

Today the European Commission published a consultation paper on transparency and fees in cross-border transactions in the EU. All citizens and stakeholders (companies, organisations, public authorities, experts) are invited to take part in this consultation. Some questions are of a general nature, others more technical and would more easily be answered by experts. Suggestions are …

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EBA consults on the future EBA register under the Payment Services Directive

The European Banking Authority (EBA) launched today a public consultation on the draft regulatory technical standards (RTS) and implementing technical standards (ITS) on the EBA electronic central register under the Payment Services Directive (PSD2), which respectively set requirements on the development, operation and maintenance of the register and the information to be contained in it. …

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The new RegTech Directory is out – your guide to the industry!

Welcome to the Planet Compliance RegTech Directory, your guide to the industry! When we first first launched, the Planet Compliance RegTech Directory in autumn 2016 we didn’t expect it to be such a success, but like RegTech itself it has quickly become immensely popular. We’re grateful for all the feedback we got and praise for …

The new RegTech Directory is out – your guide to the industry! Read More »

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ESMA publishes opinion on asset segregation and applying depositary delegation rules to CSDs

The European Securities and Markets Authority (ESMA) has published an opinion to the European Commission, the Council and the Parliament (EU institutions) under Article 34 of the ESMA Regulation. The opinion sets out suggestions to the EU institutions for possible clarifications of the legislative provisions under both Directive 2011/61/EU (AIFMD) and Directive 2009/65/EC (UCITS) relating …

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